Postal Transport Guide - October 2018 - Universal Postal Union
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Postal Transport Guide October 2018
Postal Transport Guide
Contents
Page
1 Purpose of the Postal Transport Guide 4
1.1 Introduction 4
1.2 A perspective on postal transport 4
2 Basic postal process 5
2.1 UPU postal products and services 5
2.2 Small packets/parcels 5
2.3 Products and services related to transportation 6
3 Item/receptacle/dispatch/dispatch series/consignment 6
3.1 Dispatch series 7
3.2 Dispatch 8
3.3 Receptacle 8
3.4 Relationship between receptacle ID, dispatch ID, dispatch series, dispatch type 9
3.5 Consignment 10
3.6 International mail processing centres 10
3.7 Mail category/mail class/mail subclass/dispatch year/dispatch number 13
4 The mail pipeline 15
4.1 Process diagram 15
4.2 S10 item ID/EMSEVT message 17
4.3 Electronic Data Interchange (EDI) guide 18
5 Types of transport and transit 18
5.1 Direct transportation 19
5.2 Direct transhipment – intraline 19
5.3 Direct transhipment – interline 19
5.4 Closed transit 19
5.5 Transit à découvert (open transit) 20
5.6 Closed mails included in the mail 21
5.7 Diagrams of transport and transit 21
6 Postal transport and transit – cost and accounting principles 27
6.1 Treaty provisions 27
6.2 Air transport 27
6.3 Maritime transport 28
6.4 Rail transport 28
6.5 Closed transit – principles of accounting 28
6.6 CP 88 special parcel bill 29
6.7 Open transit/transit à découvert – principles of accounting 29
6.8 CP 81 and CP 82 tables 29
6.9 Former CN 68 list 29
6.10 Transit Manual 29
3
Page
6.11 Basic airmail conveyance rate 29
6.12 Airmail distance 30
6.13 Internal air conveyance 31
6.14 Return of empty bags 32
7 UPU forms and messaging 34
7.1 Receptacle labels 34
7.2 Messaging standards 38
7.3 Overview of messaging standards 42
7.4 Technical standards 43
8 Routeing airmail 45
8.1 Delivery standards 45
8.2 Some best practices 45
8.3 Service agreements 47
9 Use of EDI to monitor the transportation operation 47
10 Security issues 49
11 Annex – Key UPU regulations 51
4 1 Purpose of the Postal Transport Guide 1.1 Introduction This Postal Transport Guide is planned as a living document on the UPU website. It is to be easily updateable, as experience is gained or conditions change. The guide is an information source for postal staff dealing with postal transport and transit. 1 It deals with all modes of international postal transport: air, maritime, road and rail. It is intended as a means by which staff can become acquainted with the various aspects of postal transport and transit. Bearing in mind that the guide provides updated, coherent and comprehensive information on UPU transport- related matters, UPU designated operators should include the guide in the syllabus of their postal schools. The guide is maintained by the Transport Group of the UPU Postal Operations Council (POC). As airmail is an important mode of UPU transport, IATA is consulted on airline issues within the framework of the IATA–UPU Contact Committee. The terms of reference of the Transport Group and the IATA–UPU Contact Committee are outlined in docu- ment POC C 1 TG 2017.1–Doc 3 and POC C 1 TG 2017.1–Doc 5e respectively, published in the UPU docu- ment database. Questions, comments or suggestions concerning this guide may be sent to Mr Jan Bojnansky, Customs and Transport Programme Manager, at jan.bojnansky@upu.int. 1.2 A perspective on postal transport Most people reading this guide will have travelled internationally at some point. Consider all of the planning that you do to prepare for such a trip: – Is the departure time convenient? – Is the arrival time suitable? – Are the transfers too short or too long? – Is the transfer airport convenient? – Most importantly, are there seats available? Now consider that in virtually every country, customers can mail letters, packets and parcels to any other country in the world, every day. Also consider that, from a service perspective, there are typically two catego- ries: priority and non-priority. The staff responsible for defining the operational network for an origin Post must plan transport and transit to every country in the world, and do so such that it is logical for every day of the week and every season of the year, both for priority mail and non-priority mail. This can be a very complex task, especially considering the changeability of conditions: daily and seasonal mail volumes, flight schedules, aircraft capacities, office of exchange (OE) working hours, etc. And there is added complexity because the operational network plan (e.g. flights and transit arrangements) must be loaded into the dispatch system in a timely manner, so that when the origin office of exchange creates a receptacle label, the routeing information is included. 1For the purposes of this guide, “transport” is when a designated operator uses carriers such as airlines, rail companies or a shipping company, and “transit” is when an origin designated operator uses the services of another (transit) designated operator.
5 The use of transit à découvert (open transit) and closed transit (both described later in this document) by an origin operator can, and does, simplify the planning necessary, but it is not uncommon for an origin Post to have dispatches to over 100 destination countries on a daily basis. The quality of this transport and transit planning directly influences the quality of service. This complex and important task takes place in every origin Post. It is important that, within the Post, the complexities are recog- nized and appropriately resourced. 2 Basic postal process 2.1 UPU postal products and services The following diagram depicts the UPU products and services: As depicted above, postal products are classified as letter post, parcel post or EMS. Letter post covers items such as letters and postcards, which are typically not subject to systematic customs control. Letter post also includes small packets and M bags (direct bags of printed papers for the same address), both of which are subject to customs control. Parcel post, including the ECOMPRO parcel, is subject to customs control. EMS items can contain either documents or merchandise. EMS items containing merchandise are subject to cus- toms control. Those containing documents may be subject to customs control, depending on the destination country. 2.2 Small packets/parcels A small packet is a letter-post item weighing up to 2 kg that contains a good. The distinction between a letter- post small packet and a parcel is the mail stream in which the item is handled (letter post or parcel post) and the basic attributes of the product. The basic attributes of parcels include tracking, liability and signature on delivery. In general, to Customs, the assessment of duty and tax is the same for a packet or a parcel. However, the postal labelling of the items, the handling by the Posts, and the remuneration between Posts is different for small packets versus parcels, as indicated below:
6
Small packet Parcel
Regulatory basis Regulations to the Convention – Let- Regulations to the Convention –
ter Post Parcel Post
Customs declaration CN 22 – optionally CN 23 CN 23 (may be part of CP 72 man-
ifold set)
Weight 0–2 kg 0–20 kg (optionally to 30 kg)
Remuneration between Posts Terminal dues Inward land rates
Dispatch bill/receptacle label CN 31 letter bill/CN 34, CN 35 or CN CP 87 parcel bill/CP 83, CP 84 or
36 receptacle labels CP 85 receptacle labels
Barcoded item identifier From 1 January 2018, a small pac- A 13-character S10-format bar-
ket containing goods needs to have coded item identifier is mandatory.
a UPU Technical Standard S10 bar- This may be applied separately or
code identifier. This barcode is not included on the CN 23.
for tracking purposes.
2.3 Products and services related to transportation
Some products and services are called supplementary services. Certain supplementary services are manda-
tory. Others are optional at the discretion of the origin, while yet others are optional requiring agreement be-
tween origin and destination.
Some products are related to transportation in that their presence must be indicated on labels or delivery bills
– for example, registered items, insured items and tracked items.
3 Item/receptacle/dispatch/dispatch series/consignment
This section seeks to familiarize staff of designated operators with the key elements involved in transport. It
includes a special focus on “consignment”, which is used only for transport.
The postal operation typically consists of the following hierarchical elements: 2
Postal item: A letter, postcard, letter post small packet, letter post M bag, parcel, EMS item, etc. Trackable
items have a unique item identifier. Standard S10 is the applicable UPU standard for item ID, used on trackable
items (e.g. registered, insured or express letter post, parcels, and EMS). 3
Postal receptacle: A unit of a dispatch. The postal receptacle is typically a bag or a tray containing postal items.
It has a standard 29-character barcoded receptacle ID. Postal receptacles are a physical entity handled by
carriers such as airlines. The receptacle ID is used by carriers, as well as by Posts. The applicable UPU
standard for receptacle ID is S9.
Postal dispatch: Each postal receptacle is a component of a postal dispatch and has a standard 20-character
dispatch identifier. The dispatch identifier is part of the 29-character receptacle ID. The applicable UPU stan-
dard for dispatch ID is S8.
Postal dispatch series: Postal dispatches are sequentially numbered within a dispatch series that is established
between the origin OE and destination OE. This dispatch series is 15 characters and is also part of the recep-
tacle ID.
Postal consignment: Postal receptacles are also included in consignments, for transport purposes. A consign-
ment consists of the receptacles assigned to a specific transport, regardless of the dispatch (or dispatches) to
which the receptacles belong.
2 Within the UPU, the use of terminology related to items, receptacles, dispatches, dispatch series and consignments can
be inconsistent. For the purpose of the Transport Guide, the terminology as described here is used.
3 UPU standards (both technical and messaging) are available for purchase (subscription or individual copy) via the UPU
website at www.upu.int/en/activities/standards/about-standards.html.7
The principle of postal dispatches is the basis for all operations and accounting between designated operators.
In its simplest form it operates as follows:
Each dispatch from an origin OE to a destination OE, for each class of mail (and where necessary, subclass),
is sequentially numbered, with the number being reset for the first dispatch of the calendar year. This is the
“dispatch number”.
Each dispatch is accompanied by a paper (letter or parcel) bill describing the dispatch, in terms of the number
of receptacles, weight, etc. For the first dispatch of the calendar year, the last dispatch number of the previous
calendar year is also included on the (letter or parcel) bill. The (letter or parcel) bill is placed inside one of the
receptacles of the dispatch, typically the last one of the dispatch.
Destination OEs file the (letter or parcel) bills in order of dispatch number for each origin OE and product.
Thus, a missing dispatch can be detected immediately on receipt of the next dispatch.
As an example, if priority letter-post dispatch number 0123 of 2012 from Zurich OE to Montreal OE has been
received, but dispatch number 0122 has not, then Montreal can immediately know that dispatch number 0122
may have gone astray and can create a verification note so that Zurich OE can initiate investigations.
As well, a dispatch may consist of only one receptacle (e.g. bag or tray) or may comprise several receptacles,
depending on the volume of mail at the time. But individual receptacles of a dispatch do not always stay
together as they progress through the supply chain. The (letter or parcel) bill also identifies the number of
receptacles dispatched, so the destination can ensure not only that the postal dispatch is duly received but
also that each of the receptacles that made up the dispatch is received. Of course, it is of critical importance
that the destination receives the bill. Accordingly, the label of the receptacle that carries the bill is marked with
a large “F” (for “forms”). This receptacle is often called the “F bag”.
3.1 Dispatch series
Postal dispatches are sequentially numbered by dispatch series. The dispatch series consists of 15 characters:
– 6-char origin OE (IMPC) code.
– 6-char destination OE (IMPC) code.
– 1-char mail category (A, B, C, or optionally D).
– 2-char mail subclass (the first character is mail class – U, C, E, or T). The second character is used to
distinguish different dispatch series within the mail class.
Note: Mail category and dispatch-level mail subclass, linked together, form the 3-character “dispatch type”.
An example of a dispatch series is CAYMQACHZRHBAUN, where:
– CAYMQA is MONTREAL, the operator being Canada Post (code list 108 4).
– CHZRHB is ZURICH 1, the operator being Swiss Post (code list 108).
– A refers to “airmail or priority mail” (code list 115).
– UN refers to “LETTERS – LC/AO” (code list 117).
Another example of a dispatch series is CAYMQACHZRHBAUL. Mail in this dispatch series consists of
LETTERS – LC.
The co-existence of two dispatch series for priority letter post from MONTREAL to ZURICH 1 indicates that
there is a business reason for having the two. Otherwise there would be only one.
4 UPU standards typically reference code lists, which are on the UPU website at www.upu.int/en/activities/
standards/code-lists.html.8 The dispatch series is an important element carried throughout all aspects of operations and accounting, and is defined in the Regulations to the Convention in articles 17-120 and 17-223. The term exists in the Interna- tional Postal System (IPS) and appears on the CN 31 letter bill and the CP 87 parcel bill created by recent versions of IPS, even though it does not yet appear on the UPU model forms. 3.2 Dispatch Within each dispatch series, individual dispatches are created, each with a unique dispatch ID. The dispatch ID consists of 20 characters: – 15-char dispatch series. – 1-char dispatch year (“2” is 1992, 2002, 2012, 2022, etc.). – 4-char dispatch number, sequentially assigned. A dispatch can consist of one, or many, receptacles, depending on the volume of mail at the time. 3.3 Receptacle Each receptacle of a dispatch has a receptacle ID. The receptacle ID consists of 29 characters: – 20-char dispatch ID. – 3-char receptacle serial number. – 1-char highest numbered receptacle indicator. – 1-char registered/insured indicator. – 4-char receptacle weight. The 29-character receptacle ID is in barcoded format (symbology code 128) on receptacle labels. It is this entity that is created by origin OEs and scanned by transit and destination designated operators and carriers such as airlines. When the receptacle ID is scanned, the dispatch ID and the dispatch series are automatically captured. Thus, a single scan captures the origin and destination offices of exchange, the mail category, the mail class and subclass, indicators as to whether the receptacle is the highest numbered in the dispatch and whether it con- tains registered or insured mail, and the gross weight.
3.4 Relationship between receptacle ID, dispatch ID, dispatch series, dispatch type
Position
Entity name and example Data element name UPU reference or content definition Example
Length Format
International mail processing centre The origin and destination IMPCs must be in UPU code list 108 1–6 DEFRAA
(IMPC) of origin – code 6 Alpha
DEFRAANLAMSAAUN
IMPC of destination – code 7–12 NLAMSA
Dispatch-Series 6 Alpha
Mail category code The mail category code must be in UPU code list 115 13 A
1 Alpha
DEFRAANLAMSAAUN40027
Dispatch-Type
Mail sub-class code Mail class code The mail sub-class code must be in UPU code list 117 14–15 UN
AUN
S8 Dispatch-ID
(dispatch-level) (The 1st character of the mail sub-class is the mail class code – de- 2 Alpha
2nd character of fined in code list 116.) (unless bilateral
mail sub-class agreement as al-
phanumeric)
DEFRAANLAMSAAUN40027002000258
Dispatch-year Last digit of calendar year, 16 4
e.g. 4 – 1994, 2004, 2014, 2024. 1 Numeric
S9 Receptacle Identifier
For each dispatch-series, the dispatch-year is adjusted for the 1st dis-
patch of the calendar year and remains constant for each subsequent
dispatch throughout the year.
Dispatch-number Numeric (0001–9999). For each dispatch-series, the dispatch-number 17–20 0027
9
is initialized (typically to 0001) for the 1st dispatch of the calendar year 4 Numeric
and is incremented by one for each subsequent dispatch throughout
the year.
Receptacle serial number Numeric (001–999). This is the number of the receptacle within the 21–23 002
dispatch. 3 Numeric
Highest numbered receptacle indicator 0 – No The receptacle is not the highest numbered receptacle in 24 0
(unless bilaterally agreed to use an al- the dispatch 1 Numeric
ternative) 1 – Yes The receptacle is the highest numbered receptacle in the
dispatch
9– No information is available in the barcode
Registered/insured indicator (unless 0 – No Receptacle does not contain registered and/or insured 25 0
bilaterally agreed to use an alternative) items 1 Numeric
1 – Yes Receptacle contains registered and/or insured items
9– No information is available in the barcode
Receptacle weight Gross weight in 1/10 kilos. The decimal is not included. (If this weight 26–29 0258
exceeds 999.8 kg, then the value 9999 is included). 4 Numeric
29 char 20 char 15 char 3 char10 3.5 Consignment In the UPU Regulations, the term “consignment” is used in two different contexts: one refers to an optional postal product (see article 18-005 on the consignment service) and the other relates to transport (see article 17-135). Some documents use the term “item” and “consignment” interchangeably. This guide uses the article 17-135 mean- ing of the term “consignment”. As noted, receptacles of a dispatch may not all travel together. And they may not travel on the same transport that was planned when the dispatch was created. Receptacles of several different dispatches may travel on a specific transport. An operator may receive receptacles created by another operator and forward them onward, along with its own originating receptacles. (This is called “closed transit”.) Thus, a consignment is a list of the receptacles assigned to a specific transport, regardless of the dispatch (or dispatches) to which the receptacles belong. Whereas a dispatch is generally defined by a letter or parcel bill (forms CN 31, CN 32 and CP 87), a consignment is defined by a delivery bill (forms CN 37, CN 38 and CN 41). The consignment is used in the transportation function, both for operational control and for accounting between the Post and the carrier. Operationally, the consignment moves the receptacles between an origin international mail processing centre (IMPC) acting as a mail unit and a destination IMPC acting as a mail unit, typically via a carrier such as an airline. From an accounting perspective, the consignment is the basis for payment from the designated operator initiating the consignment to the carrier (e.g. an airline). UPU technical standard S32 defines the consignment ID, which consists of up to 12 characters: – 2-character ISO country code; – Up to 10-character unique identifier for the consignment, structured according to national specifications. It is important to note the difference between “dispatch ID” and “consignment ID”. The dispatch ID is a component of the receptacle ID. Thus the dispatch to which a receptacle belongs is immediately identifiable. However, the consignment ID is not a component of the receptacle ID. Thus the consignment to which a receptacle belongs cannot be determined from the receptacle ID, or from the other information on the receptacle label. Moreover, a receptacle may be a component of more than one consignment as it is transported from origin office of exchange to destination office of exchange (e.g. in closed transit). The CN 38 and CN 41 delivery bills are the UPU forms providing consignment information. The data element captioned “serial No.” is the equivalent of the consignment ID. Within UPU electronic data interchange (EDI) mes- saging standards, the consignment is covered by the PRECON, which is sent to the destination designated opera- tor, and the CARDIT, which is sent to the carrier. Consignments (CN 38/CN 41 delivery bills and/or CARDIT messages) are very important to airlines, as they define the shipment as mail, and therefore subject to postal customs clearance. Typically, it is the presence of UPU con- signment information (paper-based or electronic) that enables the receptacles to be moved from the custody of the airline to that of the destination designated operator for postal customs clearance. 3.6 International mail processing centres This section is to familiarize staff of designated operators with international mail processing centres. To manage transport, it is necessary to be very familiar with the principles of IMPCs. An IMPC may be either an office of exchange, a mail unit, or both. Offices of exchange A key principle of international mail is that designated postal operators of UPU member countries establish “offices of exchange” from which all outbound mail is dispatched and at which all inbound mail is received. International mail exchanged between countries thus actually moves between offices of exchange. Postal operators train and
11
equip the staff in offices of exchange to “internationalize” outbound mail based on standards and regulations, and
to “domesticate” inbound mail, to the extent possible, based on its own products and processes. An operator in a
large country may have only one OE or it may have several. The number of OEs is always far smaller than the
number of postal facilities handling domestic mail. Work in an OE is typically quite specialized and distinct from that
in an office processing domestic mail.
Office of exchange versus mail unit
Within the standards, an OE creates and receives dispatches. Thus it creates and receives letter or parcel bills, or
the EMS equivalent, as well as receptacles. For inbound, an OE actually opens the receptacles. An OE creates
and receives PREDES and RESDES messages 5.
A mail unit creates and receives consignments. Thus it creates and receives delivery bills such as CN 37, CN 38
and CN 41. The term “mail unit” is a standards term. It is not used in the UPU Regulations.
An IMPC is typically both an OE and a mail unit. If, however, an OE creates dispatches (and thus receptacles) and
forwards them to another office for consolidation onto transport (such as flights), then the IMPC is an OE but not a
mail unit.
An outbound (export) IMPC that is only a mail unit receives receptacles created by offices of exchange, records
them on a delivery bill and manages the handover to the carrier (airline). An inbound (import) IMPC that is only a
mail unit receives receptacles from the carrier, endorses their receipt, and forwards them to an OE to be opened,
or it may forward them onward in another consignment.
An example of an IMPC that is a mail unit only is GBLGWA GATWICK AMU. This IMPC does the handover between
airlines and the Post, creating and receiving consignments. It does not originate postal receptacles, so it is not an
office of exchange.
IMPC registration
For accounting and operational purposes, it is essential that IMPCs be unambiguously identified in all communica-
tions between postal handling organizations and that all parties involved be aware of the categories and classes of
mail that can be handled in any given IMPC.
To fulfil this need, the UPU has developed a mechanism for uniquely identifying IMPCs and a process for the
registration and publication of their processing capabilities. Standard S34 defines the structure of the identification
code used and specifies the procedures for the allocation of codes and for the registration, updating and publication
of IMPC data.
The complete list of registered IMPCs is published in UPU code list 108 (Standards Code List Management System
– SCMS), accessible via the Standards Section of the UPU website (www.upu.int);
All IMPCs are registered, each with a specific 6 character code. IMPCs have also evolved from being physical
entities (such as buildings), to logical entities in many cases.
The IMPC registrations are defined in code list 108. The structure of the IMPC code, as defined in UPU stand-
ard S34, is as follows:
– Characters 1–5 are the UN/LOCODE of the IMPC location, of which characters 1–2 represent the ISO coun-
try code.
– Character 6 is a qualifier to enable more than one IMPC code to exist within a UN/LOCODE.
IMPC code lists are at Universal Postal Union – International Mail Processing Centres.
IMPCs are published in three text code lists: 108 (for all IMPC codes), 108a (for expired IMPC code registration
entries and closed IMPCs), and reference list 108b (for valid and open IMPC codes).
5 PREDES is the electronic equivalent of the letter/parcel bill, the receptacle labels and the list of trackable items. RESDES is
the electronic confirmation of processing of the receptacle at destination. They are described in more detail later in this docu-
ment.12 IMPC attributes IMPCs are registered with various attributes: – IMPC name (both 12- and 35-character); – Operator code; – Operator name (both 12- and 35-character); – Physical address – Contact information – Function: office of exchange, mail unit, or both; – Mail flows: any combination of import, export or transit; – Mail categories inbound: any combination of values (A, B, C, D) based on code list 115; – Mail categories outbound: any combination of values (A, B, C, D) based on code list 115; – Mail classes inbound: any combination of values (U, C, E, T) based on code list 116; – Mail classes outbound: any combination of values (U, C, E, T) based on code list 116; – Special type indicator: ETOE, military unit; – Bilateral agreement indicator; – Special restrictions. A key purpose of code list 108 is the registration of the IMPC and to identify the operator. IMPC operator It is important to note that the IMPC operator or the UPU member country cannot be derived from the IMPC code itself. As an example, USLAXL is an IMPC in Los Angeles, but the IMPC is not operated by the United States Postal Service. It is an ETOE operated by Deutsche Post. The operator of an IMPC can only be determined by referring to code list 108. Physical versus logical An IMPC is not necessarily a physical entity, such as a building. It has evolved to become more of a logical entity. Thus there can be several IMPCs not only in the same UN/LOCODE area, but even in the same building. Similarly, functions of a single IMPC can take place in more than one building. The sixth character of the IMPC code is the qualifier and is used to manage these situations. Dispatch versus consignment A dispatch is a set of receptacles with the same dispatch ID. Thus all of the receptacles of a dispatch share the characteristics in the dispatch ID: same origin, destination, mail category, mail class and subclass, and same dis- patch number within the calendar year. The dispatch may comprise one receptacle or many receptacles. UPU forms CN 31/CN 32 letter bill and CP 87 parcel bill describe the dispatch. In an automated system, the PREDES message describes the dispatch, as well as the receptacle labels. A consignment is quite different. Individual receptacles of a dispatch may (unfortunately) not necessarily end up travelling together. Receptacles of a dispatch may be split up anywhere in the supply chain. A consignment is the list of receptacles assigned to a specific transport. Thus a consignment may contain all the receptacles of a dis- patch, or only some of them. It may contain receptacles from more than one dispatch. Moreover, it may contain receptacles created by more than one operator. UPU delivery bill forms CN 37, CN 38 and CN 41 for surface, air and S.A.L. describe the consignment. In an automated system, the PRECON and CARDIT describe the consign- ment.
13 3.7 Mail category/mail class/mail subclass/dispatch year/dispatch number This section seeks to familiarize staff of designated operators with the data elements making up the receptacle ID. Mail category The term “mail category” is a UPU standards term. It is not (yet) well defined in the UPU Regulations but relates closely to boxes in the CN 31 letter bill and the CP 87 parcel bill. It is important to note that the term “airmail” in the Regulations does not necessarily refer to a mode of transport. Rather, it can refer to a product. This is a common source of confusion. The UPU Regulations once referred to airmail as priority mail. However, between countries in close proximity, it can be faster to use surface transport. Many countries still call their fastest international letter or parcel mail product “airmail” in dealing with their custom- ers, even though some of it travels by surface. In UPU standards, mail category is defined in code list 115, as follows: – A – Airmail or priority mail – B – S.A.L. mail/non-priority mail – C – Surface mail/non-priority mail – D – Priority mail sent by surface transportation (optional code) Mail category B is S.A.L., for “surface airlifted”. S.A.L. can be implemented in a number of ways. An origin may decide that surface transport is not viable for its non-priority mail and may decide to use air transport at reduced priority for some or all destinations. This is usually based on a contract between the operator and the airline, and it is typical that an airline may have 7–14 days to provide the transportation. A minimum is needed so that S.A.L. does not erode priority mail volumes. Another way origins can implement S.A.L. is to have a separate product that is between the traditional airmail/ priority and surface/non-priority. This gives customers three levels of service rather than two. From a destination standpoint, inbound S.A.L. mail is equivalent to inbound surface mail in terms of priority and remuneration. Mail category C (surface mail/non-priority mail) is sent by surface, which can be by sea, rail or land, or a combina- tion. Mail category D can be used for priority mail sent by surface, but it is generally preferable to use category A for priority mail – whether it is transported by air or surface. Mail category D can be used if, by bilateral agreement, the remuneration between designated operators for priority mail sent by air differs from that for mail sent by surface. Mail class Mail classes are defined in code list 116, as follows: U – Letters (LC/AO) C – Parcels (CP) E – EMS T – Empty receptacles In this context, “letters (LC/AO)” is synonymous with letter post. “LC/AO” is an abbreviation for the French “lettres et cartes postales/autres objets”. “Parcels (CP)” is synonymous with parcel post. “CP” is an abbreviation for the French “colis postaux”. “Empty receptacles” typically refers to the return of empty bags but may include the return of other equipment such as trays or containers. Mail subclass Mail subclass is a 2-character code, of which the first character is the mail class. In its simplest and most commonly
14 used form, the second character is “N”, which stands for “normal”. When there is a single dispatch series for a given mail category and class between two offices of exchange, then the “N” variant is applied. For example, if there is only one dispatch series for priority letter post, the mail subclass code is UN, and the dispatch type is AUN. Similarly, if there is only one dispatch series for surface/non-priority parcel post, the mail subclass code is CN, and the dispatch type is CCN. However, there can be a business need for more than one dispatch series. As an example, registered items are normally included with non-registered items in the same letter-post dispatch series. But an origin may opt to have a separate dispatch series containing exclusively registered items. It would then have one dispatch series as mail subclass UN (dispatch type AUN) and another as mail subclass UR (dispatch type AUR). EMS is a good example of multiple mail subclass codes in common use. If origins separate EMS documents from merchandise, then this is normally done at the dispatch-series level with mail subclass codes ED and EM (dispatch types AED and AEM). If documents and merchandise are commingled then the mail subclass code is EN (dispatch type AEN). Some mail subclass codes are established to support multilateral agreements. An example is mail subclass CE, which is exclusively for EPG parcels (a multilaterally agreed parcel exchange network with remuneration conditions different from normal UPU parcels). Dispatch-level versus receptacle-level mail subclass codes 6 In UPU standards, mail subclass codes can be at dispatch level, receptacle level, and even item level. The recep- tacle ID uses only the dispatch-level mail subclass code. Thus, each receptacle in a dispatch has the same dispatch ID. For example, a dispatch of mail subclass UN may include a receptacle of subclass UM (indicating it to be an M bag). In such a case, the characters “UN” would be in the barcoded receptacle ID that is on the receptacle label (in character positions 14–15 of the 29-character identifier) and in the receptacle ID for all receptacles in messages such as PREDES. The mail subclass code “UM” would be in the PREDES message in the receptacle class, which is a different data element in the PREDES message. Dispatch-level mail subclass codes typically have a specific set of receptacle-level subclass codes (receptacle class) that are operationally logical. As an example, it is illogical for a dispatch of subclass type UM to have a receptacle of subclass UN. In messages such as PREDES the mail subclass representing the receptacle class should be included only if the receptacle class is not the same as the dispatch-level mail subclass and only if the combination of the dispatch- level and receptacle-level mail subclass codes is permitted, based on code list 117a on allowed combinations. Proper use of mail subclass codes, in conjunction with the handling class, at the dispatch and receptacle level is one of the largest areas of confusion for many operators. Dispatch year The dispatch ID includes a 1-character dispatch year. UPU standards (and regulations) do not precisely define the dispatch date, or by extension the dispatch year. Some operators may base this on the dispatch-closed date, others on the receptacle creation date, and yet others on the departure date of the first planned transport. It is thought that the best practice is to base the dispatch year on the first planned transport date. This prevents the problem of some receptacles of the dispatch being created in year N and others in year N+1. However, it means that the date of the planned first transport must be known (and in the system) when the first receptacle is created. It also means that a dispatch closed on 31 December may have a dispatch number of 0001. 6 “Dispatch level” refers to all receptacles of a dispatch having the same value, whereas “receptacle level” refers to individual receptacles having different values.
15 Dispatch number For each dispatch series, the dispatch number is initialized (typically to 0001) for the first dispatch of the calendar year. The origin may, however, start at a number other than 0001, if there is a business reason to do so. For example, in cases of multiple dispatch series for the same mail category and class (but not subclass), the origin may choose to start one dispatch series for dispatch type AUN at 0001 and another for dispatch type AUL at 1001 so that the receptacle labels for the two dispatch series are more distinguishable. Otherwise, it is possible to have two receptacle labels from different dispatches look very similar, i.e. the only difference being character 15 of the receptacle ID and thus hardly noticeable to the destination. Some operators also choose to have the first character of the dispatch number relate to a specific origin office of exchange. When initializing the dispatch number for a dispatch series at a number other than 0001, the origin must ensure that there are enough dispatch numbers available in the calendar year so that the dispatch numbering will be a logical increasing sequence throughout the calendar year. Using the first character to help identify the dispatch series limits the number of dispatches in the year to 999. In addition, the (letter and parcel) bill of the first dispatch of the calendar year has the dispatch number of the last dispatch of the previous calendar year. This enables the destination to ensure that all dispatches are duly received, even when the numbering is re-initialized for the calendar year. The PREDES message, which relates to the (letter or parcel) bill, also includes this feature. Thus the first PREDES message for each dispatch series in the calendar year has, as an additional data element, the dispatch number of the last dispatch of the previous calendar year. Ideally, automated systems should be designed such that there are no gaps in the numbering of dispatches. The current Regulations (which are based on manual numbering of dispatches) do not support having gaps in dispatch numbering. A “no mail” situation for a dispatch series on a specific transport (e.g. flight) can occur on any given date, especially for parcel post or EMS dispatches to low volume destinations. In such cases, the dispatch number should typically be automatically deferred to the next planned transport for the dispatch series. 4 The mail pipeline 4.1 Process diagram The typical physical flow and the supporting electronic messages related to transportation are depicted in the dia- gram above. The receptacle- and dispatch-level messages are quite closely related to international transport. The item event messages apply only to trackable items (e.g. registered or insured letter post, parcels, EMS) and can be indirectly related to transport, especially events EMC and EMD. Typically, origin Posts create the EMC event and include item-level data in PREDES with a single scan.
16
The RESDIT, RESCON and RESDES messages are typically based on scanning the receptacle ID. As regards
RESDES, this can be either on arrival at the destination office of exchange, or it can be on opening the receptacle,
as depicted above.
The process is as follows:
Operational event Trackable item-level messaging Dispatch- and receptacle-level
messaging
Item mailed at a post office EMSEVT event EMA is captured
and sent to destination Post. For
some products this message is
optional.
Item arrives at outward office of EMSEVT event EMB is captured
exchange and sent to destination Post. For
some products this message is
optional.
Item is dispatched from outward EMSEVT event EMC is sent to PREDES message is sent to
office of exchange destination Post. destination Post. Note that
PREDES establishes the item-ID-
to-receptacle-ID linkage.
Receptacle with item is added to PRECON message is sent to
consignment (CN 37, CN 38, CN destination of consignment,
41 delivery bill) (which for closed transit will be a
transit Post).
CARDIT message is sent to car-
rier (such as airline or shipping
company).
Receptacle arrives at destination Destination or transit Post sends
of consignment (may be a transit a RESCON to Post that sent the
Post or the destination Post) PRECON.
Receptacle processed at inward Destination Post sends RESDES
office of exchange. This may be message to origin Post.
arrival at inward office of ex-
change or opening of the recep-
tacle at inward office of exchange
Item arrives at transit office of ex- EMSEVT event EMJ is sent to
change (e.g. transit à découvert) origin Post.
Item is dispatched from transit of- EMSEVT event EMK is sent to
fice of exchange (e.g. transit à origin Post.
découvert)
Item scanned after receptacle EMSEVT event EMD is sent to
opened at inward office of ex- origin Post.
change
Item presented to import Cus- EMSEVT event EDB is sent to
toms origin Post.
Item held by Customs (typically EMSEVT event EME is sent to
at inward office of exchange) origin Post.
Item returned from import Cus- EMSEVT event EDC is sent to
toms origin Post.17
Item departs from inward office of EMSEVT event EMF is sent to
exchange (having cleared Cus- origin Post.
toms)
Operational event Trackable item-level messaging Dispatch- and receptacle-level
messaging
Item arrives at delivery office EMSEVT event EMG is sent to
origin Post. For some products
this message is optional.
Item arrives at collection point for EMSEVT event EDH is sent to
pick-up origin Post.
Unsuccessful delivery (e.g. ad- EMSEVT event EMH is sent to
dressee not present to sign for origin Post.
item)
Final delivery EMSEVT event EMI is sent to
origin Post.
Although not directly related to transport, the S10 item ID and EMSEVT message are the most important standards
and operational and data flows in the UPU.
4.2 S10 item ID/EMSEVT message
Almost everybody reading this guide will have used the S10 standard, as it is the 13-character barcoded item ID
on all international trackable items (e.g. registered letters, parcels, EMS items). It is a standard used by the mailing
public. Many designated operators use the same standard for their domestic trackable items as well.
Standard S10 is a 13-character alphanumeric item identifier:
Characters Content
1–2 alpha Product/service indicator
3–10 numeric Serial number
11 numeric Check digit
12–13 alpha Country code
The basic item-level events, as reflected in EMSEVT V3, are also depicted in the following diagram: note that the
S10 item identifier is the reference for all these events.18
4.3 Electronic Data Interchange (EDI) guide
The UPU, IATA and International Post Corporation (IPC), with sponsorship from several EDI solution providers,
have jointly developed and published an EDI guide entitled EDI: The key to post–airline supply chain integration.
The guide shows the mail pipeline and associated postal EDI messaging, as well as the equivalent airline cargo
messages. This guide is currently available on the UPU website, at http://www.upu.int/en/activities/transport/upu-
iata-cooperation.html. The important features of the updated guide are as follows:
– Highlights the importance of EDI for e-commerce and security;
– Provides an update on new versions of EDI standards and refers to EDI best practices;
– Places more emphasis on testimonials by EDI users;
– Includes a detailed introduction by the three organizations promoting EDI exchanges (IATA, UPU, IPC) and
examines their joint collaborative initiatives;
– Offers a modern look and feel with improved readability.
5 Types of transport and transit
This section outlines the various means of transportation and transit used in the international mail exchange.
For the purpose of this document, “transportation” applies when only carriers (such as airlines) are involved; “transit”
applies when a third party designated operator is involved.
Five types of transportation and transit are typically used:
i Direct transportation
ii Direct transhipment – intraline19 iii Direct transhipment – interline iv Closed transit v Transit à découvert (open transit) A sixth option is used by some designated operators: Closed mails included in the mail Note that when Posts and carriers exchange EDI messages the parties can agree that the transport be paperless. This means that there will be no paper CN 38/CN 41 that follows the mail from origin to destination. 5.1 Direct transportation This is when a single transport leg (flight or maritime voyage) moves the mail from origin to destination. This is the simplest and typically the most service-effective option. Several designated operators are in “hub” countries where direct transport is readily available to many destinations. But the majority of designated operators are in “spoke” countries, where transhipment or transit is required for most destinations. The UPU Regulations encourage using the most direct route possible (see article 17-132). However, even when direct routeings are available, designated operators may choose less direct routeings if the service requirements can be met and if they are more cost-effective. Where ocean transport is involved, very few designated operators can use direct routeing to many destinations. 5.2 Direct transhipment – intraline This is a transfer from one flight to another where both flights are operated by the same carrier. Typically it is at an airline hub: e.g. KLM at Amsterdam, Lufthansa at Frankfurt, Cathay Pacific at Hong Kong. Intraline transhipment has a high probability of success. It can also be quite easy to administer from an accounting standpoint, depending on the contract between the designated operator and the carrier. Note that code sharing, 7 although common among airlines for passengers, typically does not include mail arrange- ments. When planning intraline transhipment, it can be important to determine which airline is the actual operator of the flight in case of code sharing. 5.3 Direct transhipment – interline This is a transfer from one flight to another where the flights are operated by different carriers. Interline transhipment requires careful planning. Without extensive planning and coordination involving the origin Post and the two airlines, as well as the ground handlers, this type of operation has a low probability of success. Another method regularly used is for the origin Post to contract with one airline for the whole route. This airline is then responsible for contracting with the other airlines involved regarding all issues. This type of operation has a good probability of success. 5.4 Closed transit Closed transit is when receptacles are consigned to a transit designated operator to be forwarded onwards to the destination, along with the transit operator's own originating receptacles. It can be important for the origin and transit operators to consult on closed transit arrangements. This is recom- mended in the Regulations, as some designated operators may be better able to provide transit than others. 7Code sharing is when one airline physically operates a flight, but other airlines include the same flight in their own passenger schedules using their own airline code and flight number.
20
“Article 17-132
Routeing of mails
3 The designated operator of the country of origin may consult with the designated operator providing
the closed transit service regarding the route to be followed by the closed mails which it regularly dispatches.”
Closed transit can have a high probability of success. It can also be quite easy to administer from an accounting
standpoint.
Closed transit is used when volumes warrant a closed dispatch, but the origin is not in a position to effectively plan
the transportation all the way to the destination.
Closed transit is also very typical when ocean transport is involved.
Note that, as of 1 January 2012, there were significant changes to the Regulations with respect to transport and
transit. These are reflected in articles 17-132, 17-133, 17-226 and 17-227 of the Regulations. The amendments are
designed to require more planning between postal operators and airlines.
Previously, in the case of closed transit, the origin operator could include the intended onward flight to be used by
the transit operator on receptacle labels and delivery bills. The amended Regulations do not permit this.
The amendments were adopted by the POC after extensive consultation with IATA.
5.5 Transit à découvert (open transit) 8
Transit à découvert is used when volumes do not warrant a closed dispatch.
Transit à découvert is when items (bundled letters, parcels) to a destination country are included inside receptacles
(normally bags) dispatched to a third party (transit) designated operator. The transit designated operator then in-
cludes the transit à découvert mail in its own receptacles along with its own originating mail.
As outlined in the Regulations below, it is essential that the origin and transit operators consult on transit à découvert
arrangements. As with closed transit, some designated operators are better than others as regards transit à décou-
vert.
With collaboration, transit à découvert can have a high probability of success. It can also be quite easy to administer
from an accounting standpoint.
“Article 17-117
Transit à découvert
1 The transmission of à découvert items to an intermediate designated operator shall be strictly limited
to cases where the making up of closed mails for the country of destination is not justified. À découvert
transmission shall not be used to countries of destination for which the weight of the mail exceeds three
kilogrammes per mail or per day (when several dispatches are made in a day) and shall not be used for M
bags.
3 The dispatching designated operator shall consult in advance the intermediate designated operators
as to the suitability of using them for à découvert items to the destinations concerned. The dispatching des-
ignated operator shall notify the designated operators concerned of the date on which dispatch of mail in
transit à découvert commences, providing at the same time the estimated annual volumes for each final
destination. Unless otherwise agreed bilaterally by the designated operators concerned, this notification shall
be renewed if, in a given statistical period (May or October) there were no à découvert items observed and,
consequently, no account had to be issued by the intermediate designated operator. Items in transit à dé-
couvert shall, as far as possible, be sent to a designated operator which makes up mails for the designated
operators of destination.”
8 The English version of the Regulations uses the term “transit à découvert”.21
“Article 17-220
Different methods of transmission
3 Designated operators may agree to effect exchanges in transit à découvert. The transmission of par-
cels in transit à découvert to an intermediate designated operator shall be strictly limited to cases where the
make-up of closed mails for the country of destination is not justified. However, it shall be obligatory to make
up closed mails if an intermediate designated operator states that the parcels in transit à découvert are such
as to hinder its work.
3.1 Transit à découvert shall be possible only under the following conditions:
3.1.1 the intermediate designated operator makes up mails for the designated operator of destination;
3.1.2 the designated operator of origin and the intermediate designated operator agree to this service and
to its date of commencement in advance and in writing or by e-mail.”
As indicated in article 17-117.1, transit à découvert is not to be used for M bags. One way to comply with this
regulation is for designated operators to offer the M bag product only to those countries for which it has closed
dispatches.
5.6 Closed mails included in the mail
This type of transit is (exceptionally) used when a designated operator is faced with forwarding a very small bag of
mail that has arrived from an origin operator. Very small bags (i.e. with very few letters) tend to be more vulnerable
to errors.
The designated operator has the option of including the very small bags of mail inside one of its own bags.
Some operators use this feature, others do not.
It has a high probability of success in getting the mail to the right destination.
PREDES V2.1 supports the accounting for this type of transit.
The diagrams on the following pages further explain the six types of transport/transit.5.7 Diagrams of transport and transit
2122
23
24
25
26
27
6 Postal transport and transit – cost and accounting principles
6.1 Treaty provisions
There are two international treaties that define the rules, regulations, forms, etc., for transportation by air:
– The Warsaw and Montreal Conventions of the International Civil Aviation Organization (ICAO) do not include
mail 9 in the definition of cargo; hence mail cannot be used under cargo conditions. This specifically means
that mail cannot be carried under an IATA airway bill document and must instead be carried under a UPU
CN 38 document.
– The UPU Convention and Regulations cover mail.
It is for this reason that all air cargo must be documented by an air waybill, whereas, from an air transport perspec-
tive, mail transported by air is documented by the UPU delivery bill (UPU form CN 38 or CN 41).
Notwithstanding the use of postal or cargo documents, whether or not an item can be mailed is a question entirely
for the UPU, but the question of what can or cannot be transported by air is within the legal jurisdiction of ICAO.
6.2 Air transport
The delivery bill (e.g. CN 38) and receptacle labels (e.g. CN 35, CN 36, CP 84, CP 85) are very important – to Posts
and airlines – for many reasons, including customs at airports. For the airline, the delivery bill and UPU standard
receptacle labels define a shipment as being mail, rather than cargo or freight, and enable the airline processes
relating to mail to be applied.
The UPU has memoranda of understanding or other arrangements with international organizations dealing with air
transport (IATA for airlines and ICAO for civil aviation). There is no such MoU for maritime transport. Maritime and
road transport typically involve close collaboration between the origin and destination designated operators and
bilaterally agreed operational and accounting arrangements.
The origin designated operator is responsible for transporting mail to the destination or transit operator and incurs
the cost of doing so. These costs are typically determined by the contract that the origin operator has negotiated
with the transportation company. This applies to air transport, maritime transport and road transport. The UPU
Convention and Regulations do not deal with this cost. However, for air transport, in the absence of a contract,
designated operators and airlines may use the basic airmail conveyance rate (BACR), even though the BACR is
intended for financial settlements between designated operators such as for accounting for closed transit and de-
termining the rate for internal air conveyance where it is applicable.
For air transport, the origin or transit operator must arrange transport to a suitable international airport in the country
of destination. There is no UPU publication that defines which international airports are deemed suitable. This can
typically be determined based on the IMPC code list. If there is any ambiguity, the origin operator should consult
the destination operator.
Example: Halifax (YHZ) is an international airport in Canada. However, the designated operator in Canada does
not have an office of exchange in Halifax. From this it can be deduced that YHZ is not a suitable destination airport
for mail, whereas Montreal (YUL), Toronto (YYZ) and Vancouver (YVR) are all suitable airports for mail.
The origin operator must arrange for the airline to hand the mail over to the destination operator at a suitable location
at the airport. Many operators have airmail units with ramp-side access for this purpose. Alternatively, the arrange-
ment may be that the airline must make the mail available at the airline facility for pickup by the destination desig-
nated operator.
If, for air transport, an origin designated operator uses direct transhipment, either intraline or interline, it is respon-
sible for arranging payment to the airline (intraline) or airlines (interline). In the case of interline transhipment, the
origin may arrange to pay both airlines directly, or it may arrange to pay one airline and have that airline pay the
other. It is very important for the arrangements, both operational and accounting, to be defined in detail between
the three parties. (See articles 17-133 and 17-227, including the commentary texts.)
9 The rules applicable to dangerous goods are an exception. In these cases, the ICAO conventions can also refer to mail.You can also read
